- Business & Regulatory Risk Management
- Drive Regional Surveillance Projects
- Healthy Work life Balance & Job Security
Our Client
Immediate openings with multiple Global Private Banks to search for Business & Regulatory Risk talents to be part of the North Asia Regional Branch in HK.
Job Duties
- Report to the North Asia Head of Business Risk
- Accountable for conducting regulatory & thematic business risk assessment including product suitability, cross border, pricing, selling process, transaction review by collaborating with the front office, investment, compliance and audit teams across the region
- Responsible for voice log review and transaction monitoring to ensure the fulfilment of HKMA/SFC regulatory requirements
- Facilitate the investigation/analysis of root cause; incidents reporting and review of governance framework
- Contribute to the regional implementation & automation of workflow efficiency to cater for the regulatory & risk related initiatives
Requirements
- Degree holder in accounting or related disciplined with 8 years+/- Regulatory Risk Control, Business Risk and Compliance experience earned from HKMA regulated Banking Entities
- Self-motivated team player with excellent analytical, problem solving and stakeholder management capabilities
- Good understanding of regulatory requirements and cross asset classes of investment products
- Proficient in MS Office, Excel or PowerBI or Tableau
- Strong proficiency in English and Mandarin is highly desirable
Category : AML, Legal & Compliance 
Industry :
Banking & Finance
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